Hello need help with these 2 questions. They just need to be 300-400 words each question and referenced. I also need as soon as possible, if possible even tonight.
?Managing Employee Performance? from Human Resource Management was adapted by The Saylor Foundation
under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 license without attribution as requested by the
work?s original creator or licensee. Chapter 10: Managing Employee Performance
You have been the store manager for a large coffee shop for three years but have never had this type of
problem employee to handle before, and you schedule a meeting to speak with your HR manager about it.
Jake, one of your best employees, has recently begun to have some problems. He is showing up to work
late at least twice per week, and he missed the mandatory employee meeting on Saturday morning. When
you ask him about it, he says that he is having some personal problems and will try to get better.
For a bit of time, Jake does get better, comes to work on time, and is his normal, pleasant self when
helping customers. However, the situation gets more serious two weeks later when Jake comes to work
smelling of alcohol and wearing the same clothes he wore to work the day before. You overhear some of
the employees talking about Jake?s drinking problem. You pull Jake aside and ask him what is happening.
He says his wife kicked him out of the house last night and he stayed with a friend, but he didn?t have time
to gather any of his belongings when he left his house. You accept his answer and hope that things will get
A week later, when Jake arrives for his 10?7 shift, he is obviously drunk. He is talking and laughing
loudly, smells of alcohol, and has a hard time standing up. You pull him aside and decide to have a serious
talk with him. You confront him about his drinking problem, but he denies it, saying he isn?t drunk, just
tired from everything happening with his wife. You point out the smell and the inability to stand up, and
Jake starts crying and says he quit drinking ten years ago but has recently started again with his
impending divorce. He begs for you to give him another chance and promises to stop drinking. You tell
him you will think about it, but in the meantime, you send him home.
The meeting with HR is this afternoon and you feel nervous. You want to do what is right for Jake, but you
also know this kind of disruptive behavior can?t continue. You like Jake as a person and he is normally a
good employee, so you don?t want to fire him. When you meet with the HR manager, he discusses your
options. The options, he says, are based on a discipline process developed by HR, and the process helps to
ensure that the firing of an employee is both legal and fair. As you review the process, you realize that
ignoring the behavior early on has an effect on what you can do now. Since you didn?t warn Jake earlier,
you must formally document his behavior before you can make any decision to let him go. You hope that
Jake can improve so it doesn?t come down to that.
Saylor URL: http://www.saylor.org/books Saylor.org
1. Handling Performance LEARNING OBJECTIVES Explain the types of performance issues that occur in the workplace, and the internal and
external reasons for poor performance. 2. Understand how to develop a process for handling employee performance issues.
3. Be able to discuss considerations for initiating layoffs or downsizing.
As you know from reading this book so far, the time and money investment in a new employee is
overwhelming. The cost to select, hire, and train a new employee is staggering. But what if that new
employee isn?t working out? This next section will provide some examples of performance issues and
examples of processes to handle these types of employee problems. Types of Performance Issues
One of the most difficult parts of managing others isn?t when they are doing a great job?it is when they
aren?t doing a good job. In this section, we will address some examples of performance issues and how to
1. Constantly late or leaves early. While we know that flexible schedules can provide a work-life balance,
managing this flexible schedule is key. Some employees may take advantage and, instead of working at
home, perform nonwork-related tasks instead. 2. Too much time spent doing personal things at work. Most companies have a policy about using a
computer or phone for personal use. For most companies, some personal use is fine, but it can become a
problem if someone doesn?t know where to draw the line.
3. Inability to handle proprietary information. Many companies handle important client and patient
information. The ability to keep this information private for the protection of others is important to the
success of the company.
4. Family issues. Child-care issues, divorce, or other family challenges can cause absenteeism, but also poor
work quality. Absenteeism is defined as a habitual pattern of not being at work.
5. Drug and alcohol abuse. The US Department of Labor says that 40 percent of industrial fatalities and 47
percent of industrial injury can be tied to alcohol consumption. The US Department of Labor estimates
that employees who use substances are 25?30 percent less productive and miss work three times more
often than nonabusing employees.  Please keep in mind that when we talk about substance abuse, we are Saylor URL: http://www.saylor.org/books Saylor.org
297 talking about not only illegal drugs but prescription drug abuse as well. In fact, the National Institute on
Drug Abuse says that 15.2 million Americans have taken a prescription pain reliever, tranquilizer, or
sedative for nonmedical purposes at least once.  Substance abuse can cause obvious problems, such as tardiness, absenteeism, and nonperformance, but it can also result in accidents or other more serious
6. Nonperforming. Sometimes employees are just not performing at their peak. Some causes may include
family or personal issues, but oftentimes it can mean motivational issues or lack of tools and/or ability to
do their current job.
7. Conflicts with management or other employees. While it is normal to have the occasional conflict at work,
some employees seem to have more than the average owing to personality issues. Of course, this affects an
organization?s productivity. 8. Theft. The numbers surrounding employee theft are staggering. The American Marketing Association
estimates $10 billion is lost annually owing to employee theft, while the FBI estimates up to $150 billion
annually.  Obviously, this is a serious employee problem that must be addressed. 9. Ethical breaches. The most commonly reported ethical breaches by employees include lying, withholding
information, abusive behavior, and misreporting time or hours worked, according to a National Business
Ethics study.  Sharing certain proprietary information when it is against company policy and violating noncompete agreements are also considered ethical violations. Many companies also have a
nonfraternization policy that restricts managers from socializing with nonmanagement employees.
10. Harassment. Engagement of sexual harassment, bullying, or other types of harassment would be
considered an issue to be dealt with immediately and, depending on the severity, may result in immediate
11. Employee conduct outside the workplace. Speaking poorly of the organization on blogs or Facebook is an
example of conduct occurring outside the workplace that could violate company policy. Violating specific
company policies outside work could also result in termination. For example, in 2010, thirteen Virgin
Atlantic employees were fired after posting criticisms about customers and joking about the lack of safety
 on Virgin airplanes in a public Facebook group. In another example, an NFL Indianapolis Colts
cheerleader was fired after racy Playboy promotional photos surfaced (before she became a cheerleader)
that showed her wearing only body paint.
Saylor URL: http://www.saylor.org/books  Saylor.org
298 While certainly not exhaustive, this list provides some insight into the types of problems that may be
experienced. As you can see, some of these problems are more serious than others. Some issues may only
require a warning, while some may require immediate dismissal. As an HR professional, it is your job to
develop policies and procedures for dealing with such problems. Let?s discuss these next. FORTUNE 500 FOCUS To handle attendance problems at many organizations, a no-fault attendance plan is put into place. In this
type of plan, employees are allowed a certain number of absences; when they exceed that number, a
progressive discipline process begins and might result in dismissal of the employee. A no-fault attendance
policy means there are no excused or unexcused absences, and all absences count against an employee.
For example, a company might give one point for an absence that is called in the night before work, a half
point for a tardy, and two points for a no-call and no-show absence. When an employee reaches a certain
number determined by the company, he or she is disciplined. This type of policy is advantageous in
industries in which unplanned absences have a direct effect on productivity, such as manufacturing and
production. Another advantage is that managers do not need to make judgment calls on what is an
excused versus an unexcused absence, and this can result in fairness to all employees.
One such company with a no-fault attendance policy is Verizon Communications. However, the Equal
Employment Opportunity Commission (EEOC) investigated this policy and announced that Verizon will
pay $20 million to resolve a disability discrimination lawsuit.  The lawsuit said that the company, through use of the no-fault attendance policy, denied reasonable accommodations required by the
Americans with Disabilities Act (ADA). As a result, hundreds of Verizon employees were disciplined or
fired. In this case, the EEOC cites paid or unpaid leave as one way for an employer to provide reasonable
accommodations for an employee with a disability. The policy specified there would be no exceptions
made to the no-fault attendance policy to accommodate employees with ADA disabilities. When
discussing the case, the EEOC chair justified the agency?s position by saying, ?Flexibility on leave can
enable a worker with a disability to remain employed and productive, a win for the worker, employer, and
the economy. By contrast, an inflexible leave policy may deny workers with disabilities a reasonable
accommodation.?  Part of the settlement also involved additional training to Verizon employees on ADA and how to administer the attendance plan. This successful lawsuit shows that even the most seemingly
clear performance expectations must be flexible to meet legal obligations.
Saylor URL: http://www.saylor.org/books Saylor.org
299 HUMAN RESOURCE RECALL
What would you do if you saw a coworker taking a box of pens home from the office? What Influences Performance?
When an employee isn?t performing as expected, it can be very disapointing. When you consider the
amount of time it takes to recruit, hire, and train someone, it can be disappointing to find that a person
has performance issues. Sometimes performance issues can be related to something personal, such as
drug or alchol abuse, but often it is a combination of factors. Some of these factors can be internal while
others may be external. Internal factors may include the following:
1. Career goals are not being met with the job. 2. There is conflict with other employees or the manager.
3. The goals or expectations are not in line with the employee?s abilities.
4. The employee views unfairness in the workplace.
5. The employee manages time poorly. 6. The employee is dissatisfied with the job.
Some of the external factors may include the following:
1. The employee doesn?t have correct equipment or tools to perform the job. 2. The job design is incorrect.
3. External motivation factors are absent.
4. There is a lack of management support.
5. The employee?s skills and job are mismatched.
All the internal reasons speak to the importance once again of hiring the right person to begin with. The
external reasons may be something that can be easily addressed and fixed. Whether the reason is internal
or external, performance issues must be handled in a timely manner. This is addressed in Section 10.1.3
"Defining Discipline". We discuss performance issues in greater detail in Chapter 11 "Employee
Assessment". Defining Discipline
If an employee is not meeting the expectations, discipline might need to occur.Discipline is defined as the
process that corrects undesirable behavior. The goal of a discipline process shouldn?t necessarily be to
punish, but to help the employee meet performance expectations. Often supervisors choose not to apply
Saylor URL: http://www.saylor.org/books Saylor.org
300 discipline procedures because they have not documented past employee actions or did not want to take
the time to handle the situation. When this occurs, the organization lacks consistency among managers,
possibility resulting in motivational issues for other employees and loss of productivity.
To have an effective discipline process, rules and policies need to be in place and communicated so all
employees know the expectations. Here are some guidelines on creation of rules and organizational
1. All rules or procedures should be in a written document. 2. Rules should be related to safety and productivity of the organization.
3. Rules should be written clearly, so no ambiguity occurs between different managers.
4. Supervisors, managers, and human resources should communicate rules clearly in orientation, training,
and via other methods. 5. Rules should be revised periodically, as the organization?s needs change.
Of course, there is a balance between too many ?rules? and giving employees freedom to do their work.
However, the point of written rules is to maintain consistency. Suppose, for example, you have a manager
in operations and a manager in marketing. They both lead with a different style; the operations manager
has a more rigid management style, while the marketing manager uses more of a laissez-faire approach.
Suppose one employee in each of the areas is constantly late to work. The marketing manager may not do
anything about it, while the operations manager may decide each tardy day merits a ?write-up,? and after
three write-ups, the employee is let go. See how lack of consistency might be a problem? If this employee
is let go, he or she might be able to successfully file a lawsuit for wrongful termination, since another
employee with the same performance issue was not let go. Wrongful termination means an employer has
fired or laid off an employee for illegal reasons, such as violation of antidiscrimination laws or violation of
oral and/or written employee agreements. To avoid such situations, a consistent approach to managing
employee performance is a crucial part of the human resources job. The Role of the Performance Appraisal in Discipline
Besides the written rules, each individual job analysis should have rules and policies that apply to that
specific job. We discuss performance appraisal in further detail inChapter 11 "Employee Assessment", but
it is worth a mention here as well. The performance appraisal is a systematic process to evaluate
employees on (at least) an annual basis. The organization?s performance appraisal and general rules and
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301 policies should be the tools that measure the employee?s overall performance. If an employee breaks the
rules or does not meet expectations of the performance appraisal, the performance issue model, which we
will discuss next, can be used to correct the behavior. Performance Issue Model
Because of the many varieties of performance issues, we will not discuss how to handle each type in detail
here. Instead, we present a model that can be used to develop policies around performance, for fairness
We can view performance issues in one of five areas. First, the mandated issue is serious and must be
Figure 10.1 The Process for Handling Performance Issues addressed immediately. Usually, the mandated issue
is one that goes beyond the company and could be a
law. Examples of mandated issues might include an
employee sharing information that violates privacy
laws, not following safety procedures, or engaging in
sexual harassment. For example, let?s say a hospital
employee posts something on his Facebook page that
violates patient privacy. This would be considered a
mandated issue (to not violate privacy laws) and
could put the hospital in serious trouble. These types
of issues need to be handled swiftly. A written policy
detailing how this type of issue would be handled is
crucial. In our example above, the policy may state
that the employee is immediately fired for this type
of violation. Or, it may mean this employee is
required to go through privacy training again and is
given a written warning. Whatever the result,
developing a policy on how mandated issues will be
handled is important for consistency.
The second performance issue can be called a single
incident. Perhaps the employee misspeaks and Saylor URL: http://www.saylor.org/books Saylor.org
302 insults some colleagues or perhaps he or she was over budget or late on a project. These types of incidents
are usually best solved with a casual conversation to let the employee know what he or she did wasn?t
appropriate. Consider this type of misstep a development opportunity for your employee. Coaching and
working with the employee on this issue can be the best way to nip this problem before it gets worse. Often when single incidents are not immediately corrected, they can evolve into a behavior pattern, which
is our third type of performance issue. This can occur when the employee doesn?t think the incident is a
big deal because he hasn?t been correct before or may not even realize his is doing something wrong. In
this case, it?s important to talk with the employee and let him know what is expected.
If the employee has been corrected for a behavior pattern but continues to exhibit the same behavior, we
call this a persistent pattern. Often you see employees correct the problem after an initial discussion but
then fall back into old habits. If they do not self-correct, it could be they do not have the training or the
skills to perform the job. In this phase of handling performance issues, it is important to let the employee
know that the problem is serious and further action will be taken if it continues. If you believe the
employee just doesn?t have the skills or knowledge to perform the job, asking him or her about this could
be helpful to getting to the root of the problem as well. If the employee continues to be nonperforming,
you may consider utilizing the progressive discipline process before initiating an employee separation.
However, investigating the performance issue should occur before implementing any sort of discipline. Investigation of Performance Issues
When an employee is having a performance issue, often it is our responsibility as HR professionals to
investigate the situation. Training managers on how to document performance failings is the first step in
this process. Proper documentation is necessary should the employee need to be terminated later for the
performance issue. The documentation should include the following information:
1. Date of incident 2. Time of incident
3. Location (if applicable) of incident
4. A description of the performance issue
5. Notes on the discussion with the employee on the performance issue 6. An improvement plan, if necessary
Saylor URL: http://www.saylor.org/books Saylor.org
303 7. Next steps, should the employee commit the same infraction 8. Signatures from both the manager and employee
With this proper documentation, the employee and the manager will clearly know the next steps that will
be taken should the employee commit the infraction in the future. Once the issue has been documented,
the manager and employee should meet about the infraction. This type of meeting is called
an investigative interview and is used to make sure the employee is fully aware of the discipline issue. This
also allows the employee the opportunity to explain his or her side of the story. These types of meetings
should always be conducted in private, never in the presence of other employees.
In unionized organizations, however, the employee is entitled to union representation at the investigative
interview. This union representation is normally calledinterest based bargaining  referring to a National Labor Relations Board case that went to the United States Supreme Court in 1975. Recently, Weingarten
rights continued to be protected when Alonso and Carus Ironworks was ordered to cease and desist from
threatening union representatives who attempted to represent an employee during an investigative
interview.  Options for Handling Performance Issues
Our last phase of dealing with employee problems would be a disciplinary intervention. Often this is
called the progressive discipline process. It refers to a series of steps taking corrective action on
nonperformance issues. The progressive discipline process is useful if the offense is not serious and does
not demand immediate dismissal, such as employee theft. The progressive discipline process should be
documented and applied to all employees committing the same offenses. The steps in progressive
discipline normally are the following:
1. First offense: Unofficial verbal warning. Counseling and restatement of expectations. 2. Second offense: Official written warning, documented in employee file.
3. Third offense: Second official warning. Improvement plan (discussed later) may be developed.
Documented in employee file.
4. Fourth offense: Possible suspension or other punishment, documented in employee file.
5. Fifth offense: Termination and/or alternative dispute resolution. Saylor URL: http://www.saylor.org/books Saylor.org
304 Figure 10.2Sample of a Performance Improvement Plan Alternative Dispute Resolution
Another option in handling disputes, performance issues, and terminations
isalternative dispute resolution (ADR). This method can be effective in getting two parties to come to a
resolution. In ADR, an unbiased third party looks at the facts in the case and tries to help the parties come
to an agreement. In mediation, the third party facilitates the resolution process, but the results of the
process are not binding for either party. This is different from arbitration, in which a person reviews the
case and makes a resolution or a decision on the situation. The benefits of ADR are lower cost and
flexibility, as opposed to taking the issue to court. We discuss these types of systems in greater detail
in Chapter 12 "Working with Labor Unions". Saylor URL: http://www.saylor.org/books Saylor.org
305 Some organizations use a step-review system. In this type of system, the performance issue is reviewed by
consecutively higher levels of management, should there be disagreement by the employee in a discipline
procedure. Some organizations also implement a peer resolution system. In this type of system, a
committee of management and employees is formed to review employee complaints or discipline issues.
In this situation, the peer review system normally involves the peer group reviewing the documentation
and rendering a decision. Another type of ADR is called the ombudsman system. In this system, a person
is selected (or elected) to be the designated individual for employees to go to should they have a complaint
or an issue with a discipline procedure. In this situation, the ombudsman utilizes problem-solving
approaches to resolve the issue. For example, at National Geographic Traveler Magazine an ombudsman
handles employee complaints and issues and also customer complaints about travel companies. Employee Separation
Employee separation can occur in any of these scenarios. First, the employee resigns and decides to leave
the organization. Second, the employee is terminated for one or more of the performance issues listed
previously. Lastly, absconding is when the employee decides to leave the organization without resigning
and following the normal process. For example, if an employee simply stops showing up to work without
notifying anyone of his or her departure, this would be considered absconding. Let?s discuss each of these
in detail. Employee separation costs can be expensive, as we learned in Chapter 7 "Retention and
Motivation".In the second quarter in 2011, for example, Halliburton reported $8 million in employee
separation costs.  Resignation means the employee chooses to leave the organization. First, if an employee resigns, normally
he or she will provide the manager with a formal resignation e-mail....
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